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MR

Michael J. Resnick

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CRD#: 1267872
MR

Professional summary

Michael Julius Resnick was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Michael had worked at 10 firms, which includes FFEC WEALTH PARTNERS LLC, VOYA FINANCIAL PARTNERS LLC, AETNA FINANCIAL SERVICES INC., AETNA LIFE INSURANCE AND ANNUITY COMPANY, AELTUS CAPITAL INC, MORGAN STANLEY DW INC., THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC., RHM SECURITIES CORPORATION, GREATER PACIFIC SECURITIESINC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Resnick

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 30, 2007 - February 25, 2008

FFEC WEALTH PARTNERS LLC

RIA
CRD#: 16507
SCOTTSDALE, AZ
Past

May 30, 2007 - February 25, 2008

FFEC WEALTH PARTNERS LLC

BD
CRD#: 16507
SCOTTSDALE, AZ
Past

August 1, 2000 - January 23, 2007

VOYA FINANCIAL PARTNERS, LLC

RIA
CRD#: 34815
PHOENIX, AZ
Past

October 21, 1998 - September 22, 2000

AETNA FINANCIAL SERVICES, INC.

BD
CRD#: 13255
HARTFORD, CT
Past

October 15, 1993 - January 23, 2007

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
PHOENIX, AZ
Past

February 19, 1992 - October 15, 1993

AETNA LIFE INSURANCE AND ANNUITY COMPANY

BD
CRD#: 13256
HARTFORD, CT
Past

December 19, 1991 - October 15, 1993

AELTUS CAPITAL, INC

BD
CRD#: 24928
HARTFORD, CT
Past

February 16, 1990 - November 25, 1991

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

May 24, 1989 - January 9, 1990

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

May 24, 1989 - January 9, 1990

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

May 19, 1989 - March 30, 1990

RHM SECURITIES CORPORATION

BD
CRD#: 10943
Past

May 30, 1984 - October 27, 1987

GREATER PACIFIC SECURITIES,INC.

BD
CRD#: 10488

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/12/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/15/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/10/1990
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/23/1989
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 2/8/1989
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 22
Date: 5/25/1984
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/31/1996
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/4/1996
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 6/16/1987
Direct Participation Programs Principal Examination

Current Firm

FW
FFEC WEALTH PARTNERS LLC
155 PRIVATE WEALTH MANAGEMENT | YS ASSET MANAGEMENT | YANOFSKY WEALTH MANAGEMENT | WELLS ASSET MANAGEMENT | TAYLOR INSURANCE & FINANCIAL SERVICES | SPICER PRIVATE WEALTH MANAGEMENT | SITZMAN BONNER WEALTH MANAGEMENT | SIMONSON WEALTH MANAGEMENT | SILVER BIRCH ADVISORS | SELF WEALTH MANAGEMENT | SAGE WEALTH MANAGEMENT | PEAK FINANCIAL MANAGEMENT | NOWFEL PRIVATE WEALTH MANAGEMENT | MULENFELD & HUISH | LINDAU CAPITAL MANAGEMENT | HERMES WEALTH MANAGEMENT | HAWKPEAK CONSULTING GROUP | HALL WEALTH STRATEGIES | GIBSON WEALTH MANAGEMENT | GIAGER WEALTH MANAGEMENT | FIRST FINANCIAL OF ASPEN | FIRST FINANCIAL EQUITY CORPORATION | FIDUCIARY 401K ADVISORS | FFEC WEALTH PARTNERS LLC | FFEC | EXECUTIVE WEALTH PLANNING | ESPINOZA PRIVATE WEALTH MANAGEMENT | EDWARD GEORGE WEALTH MANAGEMENT | DKGBFINANCIAL GROUP | DISCIPLINED ADVISORS GROUP | DILDAY & ASSOCIATES | CARDIEL CAPITAL MANAGEMENT | BARON FINANCIAL GROUP | ARTFX FINANCIAL PLANNING

CRD#: 16507 / SEC#: 801-63970, 8-34082

BD
Terminated by SEC on 10/22/2022
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Contact information

Main Address
7047 E Greenway Parkway Suite 350, Scottsdale, AZ 85254
Mailing Address
Phone number
(480) 951-0079
Established
Arizona since 06/02/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
174

Documents

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (2/3/2022)
FORM ADV 2A (2/3/2022)

Direct owners and executive officers

NamePositionCRD#
SITZMAN, ANDREW LEECFO, CCO6877630

Regulatory assets under management

Total Number of Accounts5,755
AUM (Assets Under Management)$ 2,371,850,816

Disclosures

Regulatory Event8
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

FFEC WEALTH PARTNERS LLC

CRD#: 16507

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